SEC Form 4 · accession 0001500872-15-000005
CARPENTER TECHNOLOGY CORP · CRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David L Strobel
Officer — SVP & Chief Technology Officer
Period of report
Aug 3, 2015
Accepted (ET)
Aug 5, 2015 · 3:49 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000017843
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 3, 2015 | A | 3,395 | — | A | 35,336 | D | |
| Common StockF2 | holding | — | — | — | 11 | I | By 401(k) Savings Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F3 | $36.82 | Aug 3, 2015 | A | 4,420 | A | Aug 3, 2016 | Aug 3, 2025 | Common Stock | 4,420 | 4,420 | D |
| Employee Stock Option (right to buy)F3 | $36.82 | Aug 3, 2015 | A | 4,420 | A | Aug 3, 2017 | Aug 3, 2025 | Common Stock | 4,420 | 4,420 | D |
| Employee Stock Option (right to buy)F3 | $36.82 | Aug 3, 2015 | A | 4,419 | A | Aug 3, 2018 | Aug 3, 2025 | Common Stock | 4,419 | 4,419 | D |
Explanation of responses
- F1The reporting person was granted restricted stock units under the Carpenter Technology Corporation Stock-Based Compensation Plan for Officers and Key Employees.
- F2Includes shares acquired under the Savings Plan of Carpenter Technology Corporation. The share balance under the Savings Plan of Carpenter Technology fluctuates due to rounding differences produced by the Plan's method of estimating shares.
- F3The reporting person was granted an option to buy shares of common stock under the Carpenter Technology Corporation Stock-Based Compensation Plan for Officers and Key Employees.